Refine your search
1,730 results found
Ropes & Gray LLP | USA | 20 Mar 2023
SEC Proposes Enhanced Safeguarding Rule for Registered Investment Advisers
On February 15, 2023, the SEC issued a release (the "Release") containing proposed Rule 223-1 under the Advisers Act (the "safeguarding rule") and…
Baker & Hostetler LLP | USA | 13 Mar 2023
Australia and BIS Address CBDCs; OCC, PCAOB and U.S. Senators Address Crypto Risks; SEC, DOJ and USSS Continue Crypto Enforcement Actions
In a recent announcement, the Reserve Bank of Australia and the Digital Finance Cooperative Research Centre (DFCRC) released details on an ongoing…
Eversheds Sutherland (US) LLP | USA | 8 Mar 2023
SEC proposes sweeping revisions to Advisers Act Custody Rule
On February 15, 2022 the US Securities and Exchange Commission (SEC) proposed sweeping changes to Rule 206(4)-2 (the Custody Rule) under the…
Willkie Farr & Gallagher LLP | USA | 6 Mar 2023
SEC Proposes Amendments to Investment Adviser Custody Requirements
On February 15, 2023, the Securities and Exchange Commission (the “SEC”) voted 4-1 to propose amendments to the Rule relating to custody of client…
King & Wood Mallesons | China, Hong Kong | 27 Feb 2023
境外上市保密和档案管理新规解读——事以密成
2023年2月25日，中国证监会联合财政部、国家保密局、国家档案局对《关于加强在境外发行证券与上市相关保密和档案管理工作的规定》…
SEC Actions | European Union, Hong Kong, USA | 27 Feb 2023
This Week In Securities Litigation (Week of February 27, 2023)
The Commission filed cases last week centered on insider trading, financial fraud, corporate controls, Regulation M Rule 105 and microcap fraud. A new…
Cooley LLP | USA | 22 Feb 2023
Why Crypto Fund Managers Are Distressed Over the SEC’s Newly Proposed Safeguarding Rule
After five years on the Securities and Exchange Commission’s rulemaking agenda, the proposed amendments to registered investment advisers’ custody…
Zhong Lun Law Firm | China, USA | 20 Feb 2023
赴美上市企业如何应对跨境审计监管
就中美之间中概股公司审计底稿跨境审查问题，美国公众公司会计监督委员会（以下简称“PCAOB”）在2022年12月的声明中表…
DLA Piper | USA | 13 Feb 2023
PCAOB staff issues Spotlight on public accounting firm quality control remediation - suggesting closer scrutiny of remediation efforts
On February 2, 2023, Public Company Accounting Oversight Board (PCAOB) inspection staff published a Spotlight on Additional Insights on the…
Vedder Price PC | China, Hong Kong, USA | 8 Feb 2023
PCAOB Issues New HFCA Act Determination Report for Chinese and Hong Kong Auditors
On December 15, 2022, the Public Company Accounting Oversight Board (PCAOB) announced that it was able to inspect and investigate issuer audit…
